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Provisional Construction Industry Co-ordination Board Operational Framework of the Voluntary Subcontractor Registration Scheme December 2002

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Provisional Construction Industry Co-ordination Board

Operational Framework of the

Voluntary Subcontractor Registration Scheme

December 2002

– i –

Table of Contents

Page Preface ii Section 1. Overview 1 2. Trade Classifications 2 3. Entry Requirements 2 4. Registration Procedures for the Primary Register 3 5. Regulatory Actions 5 6. Appeals 5 7. Rules 6 8. Complementary Measures 6 9. Interim Arrangements 6 10. Implementation Schedule 7 11. Future Developments 7 Annex

A Trade Classification 8 B Information Required for Registration 11 C Structure of the Management Committee 12 D Government Registration Schemes 13 E Guidelines on Subcontracting Practice 14

-ii-

Foreword In its report submitted to the Chief Executive in January 2001, the Construction Industry Review Committee (CIRC) has made a number of recommendations to uplift the performance of subcontractors as a crucial element of the whole value chain. One of these recommendations deals with the need to build up a pool of capable and responsible subcontractors with specialized skills and strong professional ethics through a voluntary registration scheme to be administered by the industry itself. As a precursor of industry co-ordinating body proposed by CIRC, the Provisional Construction Industry Co-ordination Board (PCICB) has developed a set of proposals on the voluntary subcontractor registration scheme as embodied in this consultation document. Since this initiative is entirely led by the industry, its success relies on your full support and active participation. We would therefore like to offer you an opportunity to take part in shaping our final proposals. Please send us your comments through the PCICB Secretariat by 30 January 2003 at –

Room 2100, Murray Building, Garden Road, Central, Hong Kong (fax 2189 7990, e-mail – [email protected])

Those who would like to access the consultation document electronically may visit our website at http://www.pcicb.gov.hk.

Provisional Construction Industry Co-ordination Board December 2002

Operational Framework of the Voluntary Subcontractor Registration Scheme

1. Overview Functions 1.1. In order to achieve its intended purpose as a platform to elevate the standard of subcontractors, the registration scheme should be designed to cater for the following functions –

(a) a convenient source of reference on firms actively engaged in the subcontracting business;

(b) a launch-pad of new initiatives aimed at improving the

professionalism and upgrading the management training of subcontractors; and

(c) a system of capability assessment, performance tracking

and disciplinary procedures for the subcontracting trade. Structure 1.2. By way of background, CIRC has recommended that a voluntary registration scheme should be set up by 2004, and that the Government should review the need to migrate to a mandatory scheme three years after its implementation. We are thus attempting to fast-track this process. 1.3. Ideally speaking, the registration scheme should be structured to provide an indication on the type, size and complexity of projects capable of being undertaken by each subcontractor. However, it would be unrealistic to aim at this goal without first acquiring a reasonable amount of operational experience and allowing a period of adaptation by all parties involved. To impose a set of stringent screening criteria without adequate preparations and widespread consensus within the industry is unlikely to engender support and acceptance.

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1.4. With these considerations in mind, we prefer a phased approach starting off with the Primary Register demanding relatively simple and accommodating entry requirements so as to attract a critical mass of subcontractors at the outset. Subject to prevailing response and feedback from the industry, a second layer, tentatively referred to as the Premier Register, could be rolled out to form a two-tier system with capability grading in selected trades. 2. Trade Classifications 2.1. A set of trade classifications for the Primary Register drawn up having due regard to the impact on built quality is at Annex A. It makes up of 25 trades divided into three main groups –

(a) 10 trades covering structural works; (b) nine trades covering finishing works; and (c) six trades covering electrical and mechanical works.

3. Entry Requirements 3.1. At the first phase of implementation, we propose only two basic requirements for the Primary Register –

(a) completed at least one job as a subcontractor relevant to the trade for which registration is applied; and

(b) documentary proof of the job completed.

3.2. For the Premier Register which is meant to show the varying level of capability possessed by individual firms, it should call for a more demanding set of entry requirements covering –

(a) duration of experience in the relevant trades; (b) key managerial and technical staff with their professional

qualifications and supervisory experience;

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(c) manpower resources (e.g. directly-employed labour) and financial capability;

(d) historical performance records, particularly those related

to statutory requirements on employment, site safety and environment protection;

(e) internal quality assurance systems; and (f) referees and strategic partners.

3.3. The above list is by no means exhaustive. We welcome views and suggestions on how to strike a sensible balance between the aspirations for sophisticated competence assessment and prevailing readiness of the industry. 4. Registration Procedures for the Primary Register Submission of application 4.1. To secure registration in the Primary Register, applicants will be required to –

(a) submit a set of information with accompanying documents as detailed at Annex B; and

(b) make a declaration on the accuracy of information and

authenticity of the accompanying documents; and (c) undertake to abide by the rules and procedures of the

registration scheme. Processing of applications 4.2. The scheme operator will conduct an initial screening of the applications by –

(a) verifying registration details against documents supplied by the applicants;

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(b) contacting the applicants to seek clarifications or obtain supplementary information; and

(c) making an assessment based on the entry requirements.

4.3. Upon completion of initial screening, the scheme operator will make recommendations for endorsement by a management committee chaired by a member of PCICB with representatives drawn from itself, clients, main contractors, subcontractors and professional institutions. The composition and terms of reference are at Annex C. Renewal of registration 4.4. Registrations are subject to renewal at two-year intervals upon submission of the relevant supporting documents. Registered details may be modified before the due date for renewal, while any substantial changes on company ownership, major shareholding or key personnel will trigger off a compulsory renewal. In both cases, a small handling fee will be charged. Publication of registered details 4.5. In the interest of transparency and to provide a ready source of reference, certain registered details such as company name, affiliated trades, contact details and owners/major shareholders may be posted on the PCICB website. 4.6. To create more value for the registered subcontractors, they may also request for publication of their specialties and listing status on the government registration schemes at Annex D. Fees and Charges 4.7. For the registration scheme to be self-sustaining, application and renewal fees will be charged to meet the capital outlay and recurrent operating expenditure. In order to deter frivolous cases, unsuccessful applicants will not be entitled to refunds. Listing on more than one trade will be entitled to discounts.

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5. Regulatory Actions 5.1. Given that the Primary Register is meant to be a primary source of reference within the industry and the anchorage of a more advanced grading system in future, its integrity must be preserved. To this end, regulatory action would be imposed given the following circumstances –

(a) supply of false information in the course of applications for registration or renewal;

(b) gross failure to give timely notification of substantial

changes on registered details and to apply for renewal;

(c) violation of the registration rules; and (d) infringement of statutory requirements on occupational

health, site safety and employment, particularly those provisions governing timely payment of wages.

5.2. The management committee will investigate complaints brought against registered subcontractors and mete out regulatory actions, where justified by available evidence. Such actions may include removal from the register, temporary suspension of registered status or written warning. 6. Appeals 6.1. A separate channel of redress will be available in the form of appeal committees empowered to confirm, reverse or vary decisions made by the management committee. 6.2. The PCICB will appoint a panel of independent persons, without direct affiliation with itself or the management committee, to serve on appeal committees. An appeal committee will conduct hearings with the presence of a chairman and two other members. The chairman may be substituted by another member in case there are conflicts of interest.

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7. Rules 7.1. For the sake of transparency and consistency, the management committee will promulgate a set of rules governing the submission and processing of applications as well as disciplinary and appeal proceedings. 8. Complementary Measures 8.1. Major clients and main contractors will be invited to indicate their firm support for the registration scheme by subscribing to a package of complementary measures. Some examples include –

(a) procurement arrangements that encourage the mandatory employment of registered subcontractors;

(b) contractual terms that allow registered subcontractors to

be given proper recognition or incremental credits in the tender evaluation process;

(c) adoption of fair and equitable subcontracting practice as

enshrined in the guidelines at Annex E which are currently undergoing industry consultation; and

(d) sponsorship and other forms of assistance for the training

of registered subcontractors.

8.2. Since circumstances may differ between individual clients, there cannot be too rigid an approach. Again, we welcome ideas on what other complementary measures can be pursued. 9. Interim Arrangements 9.1. While PCICB must take ownership of the registration scheme, it does not possess the staffing resources or administrative facilities to take up its routine management at this stage. Pending establishment of the

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statutory industry co-ordinating body, such a task may be entrusted to an external party, such as one of the major trade associations. This interim arrangement will be reviewed after two years when the first batch of renewal cases comes on stream. 10. Implementation Schedule 10.1. Depending on the outcome of this consultation exercise, we will proceed with the schedule of implementation below – Timing Activity/Milestone

February 2003 Collation of comments and formulation of final proposals for approval by PCICB

March/May 2003 Pre-launch preparations including promulgation of registration procedures and rules, hardware installation, software development, staff recruitment

June 2003 Formal launch of Primary Register

11. Future Developments 11.1. Subsequent to launching of the Primary Register, we will draw up a plan to roll out the Premier Register, probably starting with selected trades on trial basis. Furthermore, consideration will be given to linking up eligibility for listing on the Premier Register with demonstrated commitment to abide by the Guidelines on Subcontracting Practice or codes of conduct promulgated in future by PCICB. 11.2. In line with the recommendations made by CIRC, administration of the registration scheme will be taken over by the statutory industry co-ordinating body upon its establishment. A review will also be conducted in due course to examine if there is a need for mandatory registration and the best timing for it to take place.

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Annex A

Trade Classification

Group Trade Specialty

1. Structural 1.1 Demolition • Asbestos removal 1.2 Foundation and

Piling

• Sheet piles • Bored piles • Driven piles • Diaphragm walls • Micro piles

1.3 Concreting

Formwork

• Timber formworks • Large panel formworks • Formwork • Metal/system formwork

1.4 Reinforcement Bar

Fixing

1.5 Concreting 1.6 Pre-casting

Components Fabrication

1.7 Scaffolding • Bamboo scaffolding

• Metal scaffolding 1.8 Excavation and Civil

Work

1.9 Structural Steelwork 1.10 Other Structural

Trades • Pre-stressing system • Expansion Joints

2. Finishing 2.1 Finishing Wet Trades

• Brick/block work • Plastering and tiling • Spray plaster • Flooring • Stone mason

– 9 –

Group Trade Specialty

2.2 Marble and Granite 2.3 Joinery and Wooden

Flooring

• Cabinetry • Wooden flooring • Partition walls • Work top • Toilet and shower cubicle

2.4 Window Fabrication

and Installation • Aluminum window/louvers • Steel windows/louvers • Curtain wall

2.5 Doors Fabrication

and Installation • Timber doors • Metal doors

2.6 Waterproofing 2.7 Painting • Brush painting

• Spray painting 2.8 Metal Work • Metal work

• Stainless steel work • Metal roof/skylight cladding/

space frame 2.9 Other Finishing

Trades

• Glazier work • Concrete road slab and

pavement • Flexible road paving • Artificial rocks • Fitting out • Sports and playground

equipment/surface • Raised floor • False ceiling • Miscellaneous work

3. E & M 3.1 Lift and Escalators

• Escalators and moving walkways mechanized fittings

• Lifts mechanical fitting 3.2 Electrical

• Electrical wiring • General electrical installation • Electrical control and power

panel assembly

– 10 –

Group Trade Specialty

3.3 Heating, Ventilation, and Air-conditioning

• HVAC pipe work • HVAC mechanical fitting • HVAC control • Sheet metal and ducting • Insulation

3.4 Fire Services

Installation • Fire service pipe work • Fire services electrical fittings

3.5 Plumbing and

Drainage

• Plumbing • Drainage • Road drains & sewers

3.6 Other E&M Trades • Security & communication

system • Building automation system • General mechanical fitting • Signage • Welding • Gas installation

– 11 –

Annex B

Information Required for Registration Type of Information Supporting Document/Evidence

• Trade for which registration is

being sought

Nil

• Company name and address • Proprietors or major shareholders • Contact details

Business registration Photocopy of passports or ID cards

• List of projects undertaken including the scope, nature and value of works, particulars of employers etc

Documentary proof (e.g. contracts or reference letters)

• Specialties in the relevant trade (where appropriate)

Nil

• Listing in government registration schemes (optional)

Certificate or approval letters granted by the relevant bureaux or departments

Note – 1. The types of supporting documents listed above are not intended to be exhaustive. 2. Applicants will also be required to –

(a) make a declaration on the accuracy of the information and the authenticity of the accompanying documents; and

(b) undertake to abide by the rules for the registration scheme.

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Annex C

Structure of the Management Committee

Composition • Chairman appointed by PCICB • Members representing –

PCICB clients main contractors subcontractors professional institutions

Terms of reference

• oversee operation of the registration scheme

• formulate rules and procedures for the registration scheme

• examine and endorse recommendations made by the scheme

operator on individual applications

• handle complaints against registered subcontractors and impose the appropriate regulatory actions.

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Annex D

Government Registration Schemes

Bureau/

Department

Registration Scheme Scope

Registered General Building Contractors

)))

List of firms that may fulfill requisite obligations under the Buildings Ordinance

BD

Registered Specialist Contractors

))

Registered Electrical Contractors

List of electrical contractors registered under the Electricity Ordinance.

Registered Lift Contractors

)))

EMSD

Registered Escalator Contractors

))

Registers kept under the Lifts and Escalators (Safety) Ordinance on firms that are qualified to undertake lift and escalator works.

FSD Fire Service Installation Contractors

Firms qualified to undertake works relating to fire services installations

HA Works Contractors Firms that may undertake works in public housing projects

Approved Contractors for Public Works

Firms that may undertake public works projects as main contractors

ETWB

Approved Suppliers of Materials and Specialist Contractors for Public Works

Firms that may provide specialist materials and services for public works contractors (usually as subcontractors or suppliers)

Abbreviations BD Buildings Department EMSD Electrical and Mechanical Services Department FSD Fire Services Department HA Housing Authority ETWB Environment, Transport and Works Bureau

– 14 –

Annex E

Guidelines on Subcontracting Practice

(The guidelines at this annex are the draft version issued for industry consultation in early November

2002. A final version incorporating comments made by industry stakeholders will be issued in early 2003.)

臨時建造業統籌委員會 Provisional Construction Industry Co-ordination Board

工程分判指引

GUIDELINES ON SUBCONTRACTING PRACTICE

2002 年 11 月

November 2002

- i -

目 錄

序 言

i i

第 1 章 – 緒 言 1 第 2 章 – 分 包 合 約 3 第 3 章 – 分 包 合 約 的 採 購 安 排 7 第 4 章 – 管 理 分 包 合 約 10 索 引 13

Table of Contents Page

Foreword

ii

Chapter 1 – Introduction 1

Chapter 2 – Subcontracts 3

Chapter 3 – Procurement of Subcontracts 7

Chapter 4 – Management of Subcontracts 10

Index 13

- ii -

序 言

工 程 分 判 是 本 地 建 造 業 源

用 的 作 業 方 式 , 在 建 造 供 應 鏈 中

提 供 必 要 的 彈 性 。 然 而 , 這 個 制

度 存 在 不 少 問 題 , 顯 著 的 包 括 經

多 層 分 判 後 , 確 保 建 造 質 素 的 責

任 便 會 變 得 模 糊 不 清 , 及 無 效 益

的 轉 判 起 不 到 增 值 作 用 。 建 造 業 檢 討 委 員 會 ( 建 檢

會 ) 在 2001 年 1 月 發 表 的 報 告

中 , 提 出 數 項 措 施 以 改 善 現 況 ,

其 中 包 括 建 立 非 強 制 性 分 包 商 註

冊 制 度 、 向 分 包 商 提 供 培 訓 及 加

強 監 管 、 以 及 由 承 建 商 協 助 提 升

分 包 商 的 表 現 。 臨 時 建 造 業 統 籌 委 員 會

( 臨 時 建 統 會 ) 制 定 這 指 引 以 落

實 建 檢 會 的 建 議 , 提 供 有 助 改 善

分 包 商 表 現 的 有 利 環 境 。

Foreword

Subcontracting is a long-standing practice in the local construction industry that provides an essential element of flexibility in the overall supply chain. However, it has been plagued by a host of problems, notably those associated with multi-layer subcontracting which blurs the accountability for assuring built quality and non-productive subcontracting which creates no added value. In its report published in January 2001, the Construction Industry Review Committee (CIRC) has put forward some initiatives to improve the present situation. These include setting up of a voluntary subcontractor registration scheme, training and tightened control over subcontractors, as well as contractors assisting to raise the performance standards of subcontractors. These guidelines are published by the Provisional Construction Industry Co-ordination Board (PCICB) in response to the recommendation made by CIRC aiming to raise the performance standards of subcontractors by providing them with a conductive environment.

臨時建造業統籌委員會 2002 年 11 月

Provisional Construction Industry Co-ordination Board November 2002

- 1 -

第 1 章

緒 言

目標 1.1. 工 程 分 判 指 引 旨 在 列 載 建

造 業 認 可 的 良 好 分 判 作 業 原 則

(“良 好 作 業 原 則 ”),以 期 推 廣 有 關

知 識 及 推 動 業 界 廣 泛 採 用 , 從 而

達 到 下 列 目 標 –

(a) 清 楚 界 定 分 包 合 約 締 約 各

方 的 角 色 和 責 任 ;

(b) 公 平 的 付 款 條 款 及 適 時 發

放 薪 金 ;

(c) 公 開 和 具 透 明 度 的 遴 選 分

包 商 過 程 ;

(d) 有 效 而 具 透 明 度 的 架 構 以

管 理 分 判 活 動 ;

(e) 清 晰 訂 明 分 包 合 約 內 各 項

工 程 責 任 誰 屬 ;

( f ) 促 使 各 方 在 履 行 分 包 合 約

時 加 強 合 作 和 協 調 ; 以 及

(g) 分 包 商 持 續 提 升 其 表 現 的

意 願 。

Chapter 1

Introduction

Objectives 1.1. These guidelines are designed to document the principles of good subcontracting practice (“principles of good practice”) recognized by the industry, thus facilitating knowledge transfer and promoting their wider adoption so as to achieve the following –

(a) a clear delineation of roles and responsibilities between different parties involved;

(b) equitable payment terms and timely payment of wages;

(c) an open and fair selection process of subcontractors;

(d) an effective and transparent framework for the management of subcontracting activities;

(e) an unambiguous chain of accountability for works executed under subcontracts;

(f) stronger sense of collaboration and co-ordination in executing subcontracts; and

(g) willingness of subcontractors to pursue continuing improvement of performance.

– 2 –

適用範圍 1.2. 指 引 適 用 於 各 層 的 分 包 合

約 。

Scope of application 1.2. These guidelines apply to all tiers of subcontracts.

結構 1.3. 第 2 至 4 章 涵 蓋 數 個 主 要

的 範 疇 , 包 括 訂 立 分 包 合 約 、 其

採 購 安 排 及 管 理 等 三 個 主 要 課 題

的 良 好 作 業 原 則 。 1 .4 . 本 指 引 的 最 後 部 份 提 供 一

個 索引,用 以 查 閱 有 助 達 到 上 文 第

1.1 段各項目標的良好作業原則。

Structure 1.3. The principles in Chapters 2 to 4 cover a number of key topics covering subcontracts, procurement of subcontracts and management of subcontracts. 1.4. An index is provided at the end of these guidelines to show the relationship between principles of good practice and the objectives set out in paragraph 1.1.

– 3 –

第 2 章

分 包 合 約

引言 2 .1 . 本 章 詳 述 承 建 商 及 分 包 商

在 訂 立 合 約 關 係 時 的 良 好 作 業 原

則 。 書面分包合約 2 .2 . 分 包 合 約 應 以 書 面 形 式 訂

立 , 以 增 加 透 明 度 和 更 有 效 地 保

障 締 約 雙 方 的 法 律 權 益 。 標準合約 2 .3 . 分 包 合 約 可 採 用 公 司 沿 用

或 有 關 行 業 商 會 制 定 的 標 準 合

約 , 再 按 個 別 情 況 修 訂 。 2 .4 . 香 港 建 造 商 會 制 定 的 標 準

自 選 分 包 合 約 , 就 是 業 內 標 準 合

約 的 例 子 。 分包合約條款 2 .5 . 不 論 採 用 公 司 沿 用 的 標 準

合 約 還 是 業 內 的 標 準 合 約 , 分 包

合 約 條 款 都 應 清 晰 詳 盡 地 界 定 約

束 締 約 各 方 的 權 利 與 義 務 。

Chapter 2

Subcontracts Introduction 2.1. This chapter deals with the principles of good practice in regard to the contractual relationship established between contractors and subcontractors. Written subcontracts 2.2. Subcontracts should be made on written documents for the sake of better transparency and more effective safeguard of legal rights. Standard forms 2.3. Subcontracts may be based on standard forms promulgated by individual companies or trade associations, with appropriate customizations as required. 2.4. An example of industry standard form is the Standard Form of Domestic Subcontracts published by the Hong Kong Construction Association (HKCA). Terms of subcontracts 2.5. The terms of a subcontract, whether in company standard form or industry standard form, should define with clarity the full set of rights and obligations binding upon both parties.

– 4 –

管制進一步轉判 2.6. 分 包 合 約 應 列 載 條 款 以 禁

止 轉 判 整 份 分 包 合 約 , 並 阻 止 進

行 無 實 際 效 益 的 分 判 活 動 。 承 建

商 可 要 求 分 包 商 在 進 一 步 轉 判 工

程 之 前,須 事 先 獲 得 批 准 / 同 意 。

付款條款 2.7. 分 包 合 約 應 清 楚 訂 明 釐 定

中 期 及 最 終 應 付 款 的 方 法 。 2 .8 . 應制 定 的條款以涵蓋下列主要

範疇 –

(a) 公平和適時發放已完成的工程

的工程款項; (b) 公正及清楚明確的扣減分包商

可得款項的安排;

(c) 確 認 分 包 工 程 的 改 動 , 以

及 有 關 的 估 值 和 付 款 安 排 ;

(d) 在 收 不 到 工 程 款 項 或 被 拖

欠 款 項 時 分 包 商 有 何 即 時

可 以 行 使 的 權 益 ; 以 及

(e) 分 包 商 向 所 僱 用 的 工 人 準

時 發 放 工 資 的 承 諾 。

Control of further subletting 2.6. Subcontracts should provide for specific prohibition of total subletting and discourage non-productive subcontracting. The subcontractor may also be required to seek prior approval or consent for further subletting of works. Payment terms 2.7. The method to ascertain interim and final payments under subcontracts should be clearly defined. 2.8. Provisions should be made to cater for the following key aspects –

(a) fair and timely payments for works done;

(b) clear and equitable arrangements

on deduction of payments;

(c) identification, valuation and payment for variations to subcontract works;

(d) immediate rights of the

subcontractor in the event of non-payment or late payment; and

(e) commitment by subcontractors to

make timely payment of wages to their workers.

– 5 –

解決糾紛 2 .9 . 分 包 合 約 應 促 成 締 約 各 方

盡 早 解 決 糾 紛 。 除 仲 裁 外 , 締 約

各 方 亦 可 考 慮 在 合 約 內 加 入 其 他

的 解 決 糾 紛 機 制 , 包 括 進 行 調

解 、 審 裁 、 及 設 立 解 決 糾 紛 委 員

會 。 法例規定的責任 2 .10. 分 包 合 約 應 訂 明 遵 守 法 例

規 定 的 責 任 , 特 別 是 有 關 環 保 、

職 業 健 康 及 工 地 安 全 的 法 例 規

定 。 總承包合約的條款 2 .11. 分 包 合 約 應 適 當 地 界 定 分

包 商 履 行 總 承 包 合 約 條 款 的 責

任 。 在 可 行 情 況 下 應 盡 量 避 免 使

用 可 能 引 起 混 淆 的 詞 語 如 “back to back”; 如 必 須 使 用 , 則 應 清 楚

說 明 其 含 意 。 其他合約條款 2.12. 締 約 各 方 可 考 慮 把 下 述 補

充 條 款 加 入 在 分 包 合 約 內 –

(a) 合 資 格 技 工 的 最 低 比 率 ,

以 推 動 建 築 工 人 技 能 的 提

昇 和 發 展 ;

(b) 直 接 僱 用 或 直 接 管 理 工 人

的 最 低 比 率 ;

(c) 提 供 保 險 保 障 ( 包 括 工 人

賠 償 ) 的 法 律 責 任 ;

Dispute resolution 2.9. Subcontracts should facilitate early dispute resolution. Apart from arbitration, alternative dispute resolution mechanisms like mediation, adjudication and dispute resolution boards may be considered. Statutory obligations 2.10. Subcontracts should clarify the responsibility for ensuring compliance with statutory requirements, particularly those related to environment, occupational health and site safety. Terms of main contracts 2.11. The obligation of subcontractors in fulfilling relevant terms of the main contracts should be suitably underscored. Potentially ambiguous phrases such as “back to back” should be avoided as far as practical and qualified when used. Other contract terms 2.12. The subcontracting parties may impose supplementary items on –

(a) minimum ratio of trade-tested workers to promote skills upgrading and development;

(b) minimum ratio of directly employed or controlled labour;

(c) liabilities for insurance coverage including workers compensation;

– 6 –

(d) 提 供 履 約 保 證 金 的 規 定 ;

(e) 在 締 約 各 方 同 意 下 終 止 分

包 合 約 的 權 利 ;

( f ) 承 建 商 須 向 分 包 商 提 供 的

“協 助 ”*和 設 施 ; 以 及

(g) 提 供 底 層 分 包 商 的 資 料 。

(d) requirements for the placing of performance bond;

(e) mutual rights to agree on termination of the subcontract;

(f) attendance* and facilities to be provided by the main contractor to subcontractors; and

(g) information on the subcontractors engaged in lower tiers.

* “協助”包括承建商對分包商的支援,以便其

進行工程。 例 如 工 地 安 全 設 施 及 在 施

工 時 間 表 中 為 分 包 工 程 作 出 適 當 安

排 。

* “Attendance” includes support provided by the contractor to facilitate subcontractors’ works. Examples are site safety provisions and making proper allowance for subcontractors’ works in the construction programme.

– 7 –

第 3 章

分 包 合 約 的 採 購 安 排 引言 3 .1 . 本 章 詳 述 採 購 的 良 好 作 業

原 則 , 包 括 遴 選 分 包 商 , 及 就 分

包 合 約 的 條 款 達 成 協 議 。 3 .2 . 分 包 合 約 的 採 購 工 作 , 可

透 過 直 接 協 商 或 投 標 方 式 進 行 。

下 文 會 集 中 討 論 在 本 地 建 造 業 比

較 廣 泛 採 用 的 投 標 方 式 。 招標文件 3 .3 . 招 標 文 件 應 盡 量 提 供 –

(a) 足 夠 的 資 料 , 讓 投 標 者 能

提 交 切 實 可 行 的 標 書 ;

(b) 具 體 的 評 審 標 書 準 則 ; 以

(c) 清 晰 的 提 交 標 書 指 示 。 發出投標邀請書 3 .4 . 投 標 邀 請 書 應 在 同 一 時 間

發 出 。

Chapter 3

Procurement of Subcontracts Introduction 3.1. This chapter spells out the principles of good procurement practice, including selecting subcontractors and concluding terms of subcontracts. 3.2. Subcontracts may be procured through direct negotiation or tendering. The following paragraphs focus on tendering, which is more prevalent in the local construction industry. Tender documents 3.3. Tender documents should attempt to set out –

(a) adequate level of information for tenderers to submit realistic bids;

(b) details about the tender evaluation criteria; and

(c) clear instructions for submission of tenders.

Issue of tender invitations 3.4. Invitation for tenders should be issued at the same time.

– 8 –

招標期 3.5. 投 標 者 應 有 充 分 時 間 擬 備

標 書 。至於給予多少時間,則應按分包

合約的複雜程度來釐定。 提交標書 3.6. 為 對 其 他 的 投 標 者 公 平 起

見,逾 期 遞 交 的 標 書 應 不 予 接 納 。

評審標書 3.7. 所 有 標 書 應 一 律 按 照 招 標

文 件 所 列 的 準 則 進 行 評 審 。 3 .8 . 評 審 標 書 準 則 應 在 價 格 、

過 往 表 現 和 質 素 方 面 有 適 當 的 比

重 , 從 而 促 進 良 性 競 爭 。 評 審 標

書 時 可 以 採 用 下 列 準 則 –

(a) 承 辦 性 質 相 近 的 工 程 的 經

驗 ;

(b) 主 要 管 理 及 監 督 人 員 是 否

足 夠 及 有 沒 有 所 需 的 專 業

技 能 ;

(c) 資 金 與 人 手 等 是 否 足 夠 ,

俾 在 進 行 現 有 工 程 之 餘 仍

有 能 力 承 辦 有 關 分 包 項

目 ;

(d) 技 術 建 議 書 的 質 素 , 尤 其

在 是 否 符 合 招 標 規 定 方

面 ;

(e) 過 往 表 現 ; 以 及

( f ) 價 格 及 付 款 條 文 。

Tendering period 3.5. The tendering period should be sufficient for tender preparation and should be commensurate with the level of complexity involved. Submission of tenders 3.6. For the sake of fairness to other bidders, late returns beyond the stipulated deadline should not be accepted. Tender assessment 3.7. All tenders should be assessed on an equal basis using the criteria stipulated in tender documents. 3.8. Tender assessment criteria should aim at promoting healthy competition by placing suitable weights on price, past performance and quality. The following criteria may be used in tender evaluation –

(a) previous experience on jobs of similar nature;

(b) adequacy and professional competence of key management and supervisory staff;

(c) availability of capital and labour resources to undertake the subcontract on top of other on-going commitments;

(d) quality of technical proposal with particular reference to compliance with tender requirements;

(e) track record of past performance; and

(f) price and payment terms.

– 9 –

投標過程中的誠信 3.9. 投 標 過 程 應 具 誠 信 和 有 透

明 度 。 參 與 者 不 應 以 串 同 定 價 等

有 違 操 守 的 行 為 , 破 壞 投 標 過 程

中 的 誠 信 原 則 。 3 .10. 應 該 採 取 適 當 的 措 施 , 確

保 標 書 內 容 保 密 , 以 免 一 些 敏 感

的 商 業 資 料 外 洩 。

Integrity of tendering process 3.9. The tendering process should be conducted with honesty and transparency. Interested parties should refrain from compromising the integrity of this process by engaging in unethical behaviour such as price collusion. 3.10. Appropriate measures should be available to safeguard the confidentiality of tender submissions and prevent leakage of sensitive commercial information.

– 10 –

第 4 章

管 理 分 包 合 約 引言 4 .1 . 本 章 闡 述 有 關 妥 善 管 理 分

包 合 約 的 良 好 作 業 原 則 。 了解工程項目要求 4.2. 承 建 商 應 提 供 適 當 指 引 使

分 包 商 能 明 瞭 工 程 項 目 的 要 求 及

其 法 律 責 任 。 在 這 方 面 , 可 行 的

措 施 包 括 –

(a) 在 動 工 前 舉 行 簡 介 會 ( 可

安 排 委 託 機 構 一 同 出

席 ) , 向 分 包 商 講 解 項 目

的 主 要 要 求 ; 以 及

(b) 擬 備 主 要 事 項 的 清 單 以 方

便 查 閱 。 監督與管理 4.3. 承 建 商 應 制 定 合 適 的 機

制 , 以 便 妥 善 管 理 以 下 主 要 範 疇

內 的 工 程 分 判 活 動 –

(a) 分 包 合 約 的 工 程 範 圍 ;

(b) 協 調 各 分 包 商 的 工 作 ;

(c) 控 制 分 包 合 約 工 程 的 施 工

時 間 和 質 素 ; 以 及

Chapter 4

Management of Subcontracts Introduction 4.1. This chapter expounds on the principles of good practice in connection with management of subcontracts. Understanding of project requirements 4.2. Contractors should provide proper guidance to assist subcontractors in understanding the project requirements and their legal obligations. To this end, possible measures include –

(a) pre-contract briefing sessions (with the involvement of clients, if possible) to highlight major project requirements; and

(b) preparation of a checklist of key items for quick reference.

Supervision and management 4.3. Contractors should set up a mechanism to manage subcontracting activities in the following key areas –

(a) scope of works to be executed through subcontracts;

(b) co-ordination of subcontractors;

(c) control over timing and quality of subcontracted works; and

– 11 –

(d) 管 制 進 一 步 把 合 約 轉 判 及

防 止 沒 有 實 際 效 益 的 分 判

活 動 。 4 .4 . 承 建 商 與 分 包 商 均 須 調 派

足 夠 人 手 , 妥 善 管 理 和 監 督 分 包

工 程 。 承 建 商 不 應 把 管 理 和 監 督

的 責 任 全 盤 轉 嫁 予 分 包 商 , 並 應

監 督 各 層 分 包 商 的 工 程 。 協調與解決問題 4 .5 . 承 建 商 和 分 包 商 應 確 立 有

效 的 機 制 , 透 過 協 調 和 積 極 的 方

式 解 決 問 題 。 可 行 的 安 排 包 括 定

期 舉 行 會 議 檢 討 工 程 的 進 展 及 共

同 巡 視 工 地 , 以 查 核 在 施 工 期 間

和 完 工 後 的 工 程 質 素 。 工作關係 4 .6 . 締 約 各 方 應 在 恪 守 道 德 操

守 和 公 平 交 易 的 基 礎 上 積 極 培 養

和 衷 合 作 的 精 神 。 承 建 商 亦 可 與

聲 譽 良 好 的 分 包 商 發 展 長 遠 的 策

略 性 合 作 關 係 。 4 .7 . 締 約 各 方 可 考 慮 採 用 伙 伴

合 作 模 式 , 以 達 致 訂 定 共 同 目

標 , 改 善 參 與 工 程 各 方 的 溝 通 ,

及 迅 速 排 解 糾 紛 。

(d) control of further subletting and prevention of non-productive subcontracting.

4.4. Both contracting parties should devote adequate time and staff resources towards the management and supervision of subcontracted works. In particular, contractors should not shift the entire burden of workload to subcontractors and should oversee the works in all tiers. Co-ordination and problem solving 4.5. Contractors and subcontractors should put in place an effective mechanism for co-ordinated and proactive problem solving. Regular meetings to review progress and joint site inspections to check the quality of completed works and work in progress may be considered. Working relations 4.6. The contracting parties should strive to nurture a cooperative spirit built upon ethical behaviour and fair dealings. Contractors may also develop long-term strategic relationship with subcontractors enjoying a good reputation. 4.7. The contracting parties may adopt partnering arrangements to facilitate the setting of common objectives, to improve communication and to expedite the resolution of disputes.

– 12 –

工作及薪金記錄 4 .8 . 承 建 商 應 確 保 其 分 包 商 妥

善 備 存 準 確 的 出 勤 和 發 放 薪 金 記

錄 , 以 便 掌 握 資 源 調 配 的 情 況 ,

並 作 為 評 估 僱 員 保 險 索 償 的 其 中

一 項 依 據 。 如 承 建 商 作 出 要 求 ,

分 包 商 應 提 交 有 關 記 錄 。 持續提升表現 4 .9 . 承 建 商 應 主 動 向 分 包 商 提

供 以 下 支 援 , 以 持 續 提 升 其 表 現 –

(a) 定 期 評 估 分 包 商 的 表 現 ;

(b) 工 程 完 工 後 的 檢 討 ; 以 及

(c) 培 訓 管 理 及 監 督 人 員 。 委託機構的參與 4 .10. 委 託 機 構 不 應 直 接 介 入 分

包 商 的 遴 選 、 監 督 和 日 常 管 理 。

不 過 , 委 託 機 構 可 要 求 總 承 建 商

設 立 適 當 的 監 管 系 統 或 程 序 。 4 .11. 為 加 強 資 料 的 全 面 性 , 委

託 機 構 亦 可 要 求 總 承 建 商 提 交 有

關 分 包 商 的 詳 細 資 料 。

Attendance and wage records 4.8. Contractors should ensure that their subcontractors maintain accurate attendance and wage payment records to keep track of resource deployment and to help in assessing claims for employees’ compensation. Subcontractors should make available the records upon request. Continuing improvements 4.9. Contractors should provide active support to their subcontractors to elevate their performance through –

(a) regular performance evaluation and appraisals;

(b) post-completion reviews; and

(c) training for the managerial and supervisory staff.

Client involvement 4.10. Clients should refrain from direct interference with the selection, supervision and daily management of subcontractors. However, they may require the main contractors to adopt proper regulatory system or management procedures. 4.11. In order to reduce the extent of information asymmetry, clients may impose requirement for the main contractors to submit details on their subcontractors.

- 13 -

索 引 相關段落 目標*

第 2 章 第 3 章 第 4 章

(a) 清 楚 界 定 分 包 合 約 締 約

各 方 的 角 色 和 責 任 第 2.2 至 2 .12段

(b) 公 平 的 付 款 條 款 及 適 時

發 放 薪 金 第 2.7 至 2.8 段

(c) 公 開 和 具 透 明 度 的 遴 選

分 包 商 過 程 第 3.3 至 3 .10

(d) 有 效 而 具 透 明 度 的 架 構

以 管 理 分 判 活 動 第 4.3 、 4.4 、

4.8 、 4.10 及

4.11 段 (e) 清 晰 訂 明 分 包 合 約 內 各

項 工 程 責 任 誰 屬 第 2.5 、 2.6 、

2.10 及 2.11 段

第 4.2 至 4.4 段

( f ) 促 使 各 方 在 履 行 分 包 合

約 時 加 強 協 調 和 合 作 第 4.5 至 4 .7

段 (g) 持 續 提 升 分 包 商 的 表 現

的 意 願 第 4.9 段

* 第 1 章 第 1.1 段 所 述 的 各 項 目 標 。

Index Paragraphs Objectives*

Chapter 2 Chapter 3 Chapter 4 (a) a clear de l inea t ion of roles and

responsibilities between different parties involved

2.2 to 2.12

(b) equitable payment terms and timely payment of wages

2.7 and 2.8

(c) an open and fair selection process of subcontractors

3.3 to 3.10

(d) an effective and transparent framework for the management of subcontracting activities

4.3, 4.4, 4.8, 4.10 and 4.11

(e) an unambiguous chain of accountability for works executed under subcontracts

2.5, 2.6, 2.10, 2.11 4.2 to 4.4

(f) stronger sense of collaboration and co-ordination in executing subcontracts

4.5 to 4.7

(g) willingness of subcontractors to pursue continuing improvement of performance

4.9

* Objectives listed in paragraph 1.1 of Chapter 1.